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T.H.E. Journal October 2004	AT&T Wireless College and University Advantage The AT&T Wireless College and University Advantage program is offering eligible students, teachers and administrative staff bonus minutes on certain calling plans.
Registered Rep. August 29, 2006 Kristen French	Pru Agrees to $600 Million Market-Timing Settlement Prudential Equity Group admitted to criminal wrongdoing in connection with the market-timing practices of a number of its brokers between 1999 and June, 2003.
Registered Rep. July 1, 2005 Matt Barthel	Reinventing the Branch Manager The do-it-all BOM -- the guy who would mentor a financial office's young bucks, auditing their tickets and their client interactions all while recruiting and tending his own book -- is becoming obsolete in today's compliance-happy environment.
The Motley Fool June 15, 2010	One Way to Profit From Higher Interest Rates The good news for brokers is that many have been adding new accounts throughout the recession, which means that once interest rates rise again, they could be bringing in even more interest income than before.
Registered Rep. October 1, 2002 Rick Weinberg	Morgan Stanley Boosts Pay for Fee Business Morgan Stanley unveiled a new compensation plan for brokers that rewards fee-based business and penalizes transactional business.
Registered Rep. November 5, 2003 Churchill & Gaffen	Pru Market-Timing Charges Widen The investigation into mutual fund trading abuses is widening, with the release of a complaint filed by the Massachusetts Securities Division against brokers who formerly worked in Prudential Securities' hub office in Boston.
Registered Rep. January 1, 2005 Mindy Diamond	A Clean Escape, With an Accomplice Brokers tempted to leap at a lucrative job at another firm are often held back by inertia, but in increasing numbers they are finding the powerful force they need to get moving: hungry branch managers.
Registered Rep. November 1, 2002 David A. Gaffen	Requiem for the $250K Broker Until recently, brokers were immune to the industry's downsizing, which has included a decimation of the ranks of investment bankers and the elimination of thousands of support positions. Brokers, it was assumed, covered their own costs by generating commissions and fees. Not anymore.
BusinessWeek August 30, 2004 Amy Borrus	Brokers Aren't Advisers The line between brokers and advisers was clear for decades. But in 1999, the Securities & Exchange Commission blurred that line. Now, to protect investors, the SEC must redraw a clear line.
Registered Rep. October 1, 2002 Rick Weinberg	Brokers Fear Arbitration... With arbitration cases on the rise, many brokers are worried about the prospect of being dragged through a legal process that, because of the current environment, some believe is heavily slanted toward the client.
Registered Rep. December 1, 2002 David A. Gaffen	Manning the Phones When wirehouses and other major brokerages introduced the notion of call centers a couple of years ago, brokers were suspicious. Although they understood the logic behind the move, it was a difficult adjustment. But call centers are here to stay and brokers are learning to live with them.
The Motley Fool March 5, 2004 Selena Maranjian	What Stockbrokers Really Do Brokers are agents who take and fill your orders to buy and sell stocks and other securities. A former broker revealed to us how he was trained and under what conditions brokers often work.
Registered Rep. December 1, 2003 David A. Gaffen	Suddenly, A Monster Wachovia Securities has gradually, then all of a sudden, emerged as a monster brokerage firm. But Wachovia management insists that its Richmond roots aren't the only difference between it and its New York-based rivals.
Registered Rep. March 21, 2006 Kevin Burke	Former Prudential Broker Barred for Market Timing A federal judge barred for life a former Prudential Securities broker for failing to respond to an order instituting proceedings issued by the SEC over fraud charges. But that may be the least of his worries.
Registered Rep. July 30, 2003 Will Leitch	SIA Says "Me Too" on Sales Fee Investigations Amid the brewing investigations into mutual fund sales practices, the Securities Industry Association came out last week in support of the new Joint NASD/Industry Task Force.
The Motley Fool April 13, 2005 Selena Maranjian	Looking for Free Trades Savvy investors are finding ultra-low-cost brokerages.
Registered Rep. April 1, 2005 Erin Schulte	A Perilous Position? The duties of branch office managers (BOMs) have morphed from business strategist and rainmaker to compliance cop. The role, once considered a plum job and stepping stone up the corporate ladder, is increasingly being regarded as a risky, thankless task.
Registered Rep. July 14, 2008 Halah Touryalai	Morgan Stanley Offers $50 million In Overtime Settlement The settlement covers all financial advisors, trainees, producing branch managers, assistant branch managers and sales managers who live outside of California and were employed with the New York-based firm between Sept. 1, 2002, and April 21, 2008.
Registered Rep. September 1, 2005 Kristen French	Ready to Punch a Time Clock Merrill Lynch paid $37 million to settle claims that it owes thousands of former brokers overtime pay. Now, class-action attorneys smell blood.
The Motley Fool November 24, 2010 Dan Caplinger	Get What You Want From Your Broker Rather than imposing a one-rule-fits-all approach to fiduciary duty, what the SEC should do is give customers the ultimate choice when it comes to deciding what relationship they want with their brokers.
Registered Rep. March 18, 2005 Will Leitch	Wachovia: On the Recruiting Warpath Wachovia Securities, the third-largest brokerage in the country, has announced an "aggressive" new strategy: the creation of the Individual Investor Group, entirely devoted to the recruitment and retention of individual brokers.
Registered Rep. November 27, 2002 Will Leitch	Going Upstream Prudential gives up bringing the U.S. brokerage model to the Old World.
Managed Care May 2000 John Carroll	Like Stock Brokers, Are Health Care's Middlemen Losing Influence? Those who make deals between buyers and insurers are used to perks and tidy commissions. The Internet and defined contributions may threaten that.
Registered Rep. November 10, 2005 Kristen French	Morgan Stanley Waves Baby Carrot at Sales Assistants The brokerage announced plans to bump up the 2006 raise pool to 3.5 percent, and will offer an additional 5 percent to some underpaid SAs, starting in December.
Managed Care June 2004	Administrative Costs: The Price of Giving Consumers More Choice Private health insurance expenses not related to direct care services continue to rise, but the higher costs buy what people want.
Registered Rep. April 1, 2005 Mindy Diamond	Should I Stay or Should I Go? The process of deciding to change firms often hinges on concrete comparisons. But other less tangible factors come into play, too. Here are four questions that get to the heart of both types of criteria. Any rep considering changing firms should answer these before taking any major action.
Registered Rep. November 30, 2005 Kristen French	Wachovia Shaves Payout, Levels Charges on In-House and Outside SMAs After simplifying it's payout structure earlier this year, Wachovia Securities announced that it would make some more tweaks in 2006 and raise ticket charges on some in-house money-management products to match those of third-party products.
Registered Rep. June 24, 2004 John Churchill	Morgan Stanley Sued by New Hampshire Regulators New Hampshire securities regulators are suing Morgan Stanley, charging that in 2002 the firm encouraged its brokers to sell proprietary mutual funds by using sales contests, a violation of NASD rules.
The Motley Fool October 25, 2007 Dan Caplinger	Brokers for Expert Investors Have you outgrown your brokerage account? When you're just getting started with investing, comparing brokerage firms is pretty easy. But when you go beyond the basics, you need a broker who provides more.
Registered Rep. March 1, 2003 Sam Jaffe	Coaching in a Storm We spoke to dozens of the best branch office managers, from managers of tiny regional shops to lords of sprawling city offices. Their secret to success doesn't sound all that tough: work hard and pay attention to details.
National Real Estate Investor November 1, 2005 Carey Bartell	Are Your Overtime Pay Practices In Check? Many mortgage lenders are reviewing their own overtime pay practices to avoid a Department of Labor investigation or overtime pay lawsuit -- and the associated back wages and penalties.
Registered Rep. May 1, 2005 Mindy Diamond	What About Your Retirement? Brokers often take a shortsighted view of their careers, and this usually turns an effort to convince them to think about their own retirements into an uphill battle.
Registered Rep. September 27, 2002 David A. Gaffen	Bear Market Crushing Transaction Brokers Top advisors have been making the transition to the fee-based, "wealth management" style of advisory. But surveys have shown that many brokers remained resistant to the fee-based concept.
Registered Rep. December 1, 2005 Kristen French	Wachovia: Back on Track Wachovia is back in good graces with its brokers. The many integration headaches of the firm's merger with Prudential Securities have finally subsided. Reps polled say management has tackled a number of improvements.
Registered Rep. January 1, 2003 Gaffen & Geracioti	What's Going to Happen to the Rock? The Prudential unit seems like a serious candidate for a sale. It has been losing money and been a perennial under-performer.
Registered Rep. January 13, 2003 Gaffen & Geracioti	Wachovia-Prudential: For Real This Time? Can you say Pru-chovia? Prudential Securities and Wachovia Securities are very close to an agreement to join forces, one that was scuttled earlier in the year, reportedly due to differences in who would control the unit.
Registered Rep. January 9, 2003 David A. Gaffen	Wachovia Alters Production Payout Wachovia Securities has altered its monthly production bonus payout for 2003, moving up the monthly production level needed in order for brokers to avoid being penalized for monthly payouts.
Registered Rep. February 1, 2003 David A. Geracioti	Bumping the Bar at Wachovia Wachovia Securities is raising the bar on production-related bonuses. Translation for brokers: you've got to produce more to retain your current rate of pay.
Registered Rep. May 28, 2009 Kristen French	Former Brookstreet Brokers Hit With Fraud Charges Almost two years after their firm imploded, 16 brokers from Brookstreet Securities may have come to justice.
Chemistry World September 9, 2014 Rebecca Trager	Almost half of US researchers' time goes on admin US university researchers are spending nearly half their time for government research projects on administration, according to a recent survey sponsored by the National Academies and undertaken by the Federal Demonstration Partnership.
Registered Rep. February 24, 2003 David A. Gaffen	Wachovia-Pru: What's Next The newly-announced joint venture between Wachovia's retail brokerage and Prudential Securities isn't scheduled to close for another 18 months. But the new company should be able to measure the effectiveness of its broker-retention strategy sooner than that.
Investment Advisor October 2006 Kathleen M. McBride	News & Products How sweet it is: KeyCorp is selling its McDonald Investments branch network to UBS... More than a slap: Prudential Securities, Inc. was ordered to pay $600 million to regulators... etc.
Registered Rep. December 1, 2006 Halah Touryalai	Department of Labor to Brokers: No Overtime Pay for You Here is a new twist in the broker overtime pay lawsuits: The Department of Labor (DOL) says brokers are not entitled to overtime pay after all. Well, that is, unless the DOL is wrong, which it allowed could be the case. (No kidding.)
The Motley Fool March 15, 2004 Dayana Yochim	Should You Borrow to Buy Stocks? When you buy on margin, you simply borrow money from your broker to buy stock, using the cash and securities in your account as collateral for a line of credit.
Registered Rep. October 1, 2002 David A. Gaffen	Behind Every Great Producer, A Great Assistant This survey details trends in the compensation, duties and preferences of sales assistants, essential players in the brokerage business.
Entrepreneur October 2003 David Newton	Get in Sync To spark business growth, follow the leader in your industry.
The Motley Fool July 18, 2011	Interactive Brokers Group Earnings Preview Interactive Brokers Group will unveil its latest earnings on Thursday, July 21.
Registered Rep. October 1, 2004 David A. Gaffen	From Top Dog to Compliance Monkey Many branch managers at full-service broker/dealers around the country have found in recent years that their old role as branch manager has diminished, as more business decisions are made by headquarters.
Managed Care February 2006	Medicare's Efficiency Over-Hyped, Study Claims The belief that Medicare is a more efficient system than employee-sponsored health insurance comes under fire in a study that claims there are hidden costs in the government program.
Registered Rep. August 12, 2005 Kristen French	Morgan Pink-Slips Brokers, Clients Reassigned New Morgan Stanley CEO John Mack made his first big move on Morgan's rank-and-file this week, instructing branch managers to dismiss approximately 1,000 brokers.